Washington, D.C. partner Mark Costley participated in a panel discussion of “Recent SEC Enforcement Actions” at the Ascendant Compliance Management Conference on Friday, September 27, in Napa, California.

The panelists discussed how securities-industry firms should be mindful of the issues raised in SEC enforcement actions to ensure they are aware of current risks to their business.  If the SEC found it once, then they know to look elsewhere for the same. The panelists offered suggestions on how to avoid these and other analogous problems by shining light on them.

Source: Ascendant Compliance Management Conference